Compliance Manager :Product Advisory

We are exclusively recruiting for a brand new role at a leading global asset manager.

Reporting to the Head of Compliance with a dotted line to the Head of Product you will act as the primary contact between the Compliance and Product teams in relation to impact, threat and opportunities of global changes to regulation on existing and future products

You will also review and assess existing and future regulation relevant to all existing and future development of products


Manager's role - responsible for assisting the Compliance Officer and Head of Product Strategy in the review and understanding of all relevant regulation as relates to firms product range. This requires understanding the target audience and distribution channels of the communications

Advisory role - act as a central point of reference and expertise regarding regulation relevant to existing and new products

Provide advice Proactively on Product compliance matters in connection with both existing and new business

Training role - promote awareness of regulatory 'training and competence' requirements, especially with regards to Product. Contribute to CO's assessment of the Product related compliance training needs of staff

Assist with the identification of appropriate training arrangements including the provision of in-house training

The Person

Essential Experience

A good working knowledge of the relevant rules and regulations and the fund management industry, especially in relation to products

Previous involvement with product approvals, regulatory registration processes, rules and guidance being used in UK and other jurisdictions including Australia, Middle East, Far East, Europe

Experience of comprehensive dealings with the FCA

Good understanding of Dublin UCITS and QIF regimes

Essential Skills/Knowledge/Competencies

Compliance and industry related qualifications which might be of benefit to the Group e.g. Member of the Securities Institute or other professional body

Expert knowledge of the major forthcoming pieces of global legislation, includingAIFMD, MiFID II, FATCA, PRIPS, EMIR, Basel III, Solvency II

Knowledge of marketing and product registration regulations in UK, Europe (other jurisdictions desirable)

Knowledge of major global fund structures

For a confidential briefing please contact Fergus Hooley on 077252 14435 or email

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November 22, 2013 • Tags: , • Posted in: Financial

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